| 21-01196 | 11/29/2022 | Claimant(s): Edward Abrams, Hildie Abrams, Edward Abrams IRA, Hildie Abrams IRA
Claimant Lawyers(s): Edward Adams
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Rebecca Sone O'Rourke
Hearing Site: Denver, CO
|  | Expungement |
| 17-02814 | 07/26/2022 | Claimant(s): Mid Atlantic Capital Corporation
Claimant Lawyers(s): Erin Timmerman
Respondent(s): Craig Hayward
Respondent Lawyers(s): Giovanni M. Ruscitti
Arbitrator(s): Donald N. Tolin, Martha Jeanne Wilcoxson, Richard Djokic
Hearing Site: Denver, CO
| | |
| 21-02586 | 07/21/2022 | Claimant(s): Christopher Tooker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Donald N. Tolin
Hearing Site: Omaha, NE
| | |
| 21-01922 | 04/18/2022 | Claimant(s): Dennis Thurman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Donald N. Tolin
Hearing Site: Omaha, NE
| | |
| 19-02374 | 03/07/2022 | Claimant(s): J. Leland Langston
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Donald N. Tolin, Thomas R. Bromberg, Julie Judith Lurman Joly
Hearing Site: Denver, CO
| | Expungement |
| 18-02516 | 11/15/2021 | Claimant(s): Estate of David McOllough
Claimant Lawyers(s): Thomas J. Radio
Respondent(s): Edward Jones
Respondent Lawyers(s): Matthew E. Johnson
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | Expungement |
| 21-00850 | 08/30/2021 | Claimant(s): Rachel Comfort
Claimant Lawyers(s): Zachary S. Morse
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael . J Biondi
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 20-02907 | 06/22/2021 | Claimant(s): John Mickelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Donald N. Tolin
Hearing Site: Salt Lake City, UT
| | |
| 18-02447 | 06/22/2021 | Claimant(s): Tupper Briggs
Claimant Lawyers(s): Jason J. Kane
Respondent(s): VSR Financial Services., Robert Burns, Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Deanna M. Tuley
Hearing Site: Denver, CO
| | Expungement |
| 20-01623 | 02/01/2021 | Claimant(s): Adam Way
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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